Investment Adviser Representative Continuing Education

ATTENTION

Not sure where to start with IAR CE? Click here for a step-by-step guide on how to get started, including how to choose a provider and track your progress.
A NASAA account is only required if you choose to take IAR CE courses through NASAA. When creating an account, be sure to select ‘Non-Member’ as the account type.
NASAA IAR CE courses and Wisconsin courses can be taken regardless of the state in which you are registered, as the IAR CE requirements are not state-specific.

Every investment adviser representative (IAR) registered with a jurisdiction that has adopted the model rule is subject to its CE requirements. The program applies to all registered IARs of both state-registered and federal covered investment advisers in that jurisdiction.

IAR CE courses are not assigned, you are free to select approved IAR CE courses from an approved IAR CE provider. Unless your employer provides different internal guidance, you can select a provider from NASAA’s Approved Provider list. You should then select courses from the approved provider that meet the IAR CE requirements, six credits of Ethics and Professional Responsibility and six credits of Products and Practice. Upon completion of the approved IAR CE courses, the course provider will report your course completion directly to FINRA for uploading on your IAR CE transcript.

You can view your IAR CE transcript and manage your IAR CE requirement through FINRA’s Financial Professional Gateway(FinPro) account. FinPro provides individuals (current or former representatives) direct access to resources and tools to manage their securities registration information. Go to https://www.finra.org/registration-exams-ce/finpro to create an account.

Still have questions regarding your IAR CE requirement? Check out our FAQs!

Top 6 IAR CE Tips

Investment Adviser Representative Continuing Education

Welcome to the resource page for NASAA’s Investment Adviser Representative Continuing Education (IAR CE) program. NASAA’s IAR CE model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program. Below you will find information on member adoption, approved IAR CE providers, informative FAQs, and more.